equivalent positions in the capital market business; (2) {A}: his status as an approved investment consultant for Complex Financial Products Type 2 is revoked and he will be barred from working
inappropriateness for acting as capital market business personnel. Investors intending to subscribe for investment units of mutual funds are strongly advised to always verify transaction confirmation documents to
charge of capital market business and suspended her approval as investment consultant for Complex Instruments Type 2*** and investment planner for one month and 10 days. However, the bank had already
investment consultants above was deemed failure to perform duties with responsibility and deliberation as a professional in accordance with the Notification of the Capital Market Supervisory Board.* SEC has
Supervisory Board.* Therefore, SEC will not accept his future application for approval as personnel in the capital market business for a period of five years, effective from 25 February 2020. Investors are
SEC has revised rules to make it easier for companies to engage in this business, for example, abolishing the rule requiring unit-selling agents to sell investment units of different management
Investment Banking Club who have actively participated and contributed to our collaborative efforts to develop a reliable capital market as a robust fundraising platform that enhances the business sector’s
Bangkok, October 24, 2014 - The SEC suspended two capital market investment consultants namely {A}, a consultant of Bualuang Securities PLC., for trading securities on behalf of clients and {B}, a
acquisition or disposition of securities as specified in Section 246 of the Securities and Exchange Act B.E 2535 (1992) (a so-called every five percent report) and rules on an investment of the funds in
regarding its business and human rights practice in the 56-1 One report in 2022 in response to the expectation of global investors who weigh in on this data and preferably use it for investment decisions